Broker Assistant

• Monday–Friday, 8:00 AM–5:00 PM - Must be flexible for overtime based on business needs

Support financial advisors and their clients with brokerage and wealth management account servicing, transactions, and operational requests. This position requires recent hands‑on experience within a brokerage, wealth management, or investment services environment and the ability to navigate complex financial account activity accurately from initial request through resolution.

• Serve as a primary point of contact for advisors, advisor teams, and clients regarding brokerage and wealth management service requests
• Support brokerage operations, advisory accounts, new account setup, account maintenance, and ongoing servicing needs
• Process financial transactions including journals, distributions, check requests, transfers, and other account activity
• Research and resolve account discrepancies, service issues, and more complex operational cases
• Utilize CRM and financial platforms to document, track, and follow service requests through completion
• Navigate Envestnet, Pershing, NFS, or comparable brokerage and wealth management platforms, with Envestnet experience strongly preferred
• Maintain accuracy and compliance when reviewing account documentation and processing financial transactions
• Communicate clearly with advisors and clients regarding account requirements, outstanding documentation, transaction status, and next steps

• 1+ year of recent brokerage, wealth management, investment services, or broker‑dealer experience required
• Hands‑on experience supporting brokerage or advisory accounts rather than traditional banking, collections, or general customer service
• Experience with brokerage account maintenance and/or financial transaction processing
• Familiarity with Envestnet, Pershing, NFS, Fidelity, Schwab, Orion, or comparable wealth management platforms
• Strong attention to detail, problem‑solving skills, and ability to manage complex account requests
• High School Diploma or GED
• Proficiency with Microsoft Office

• Pershing and/or NFS experience
• Current or previously held Series 7 license
• SIE or other FINRA licensing
• Experience supporting financial advisors or wealth management clients
• Experience processing journals, distributions, check requests, and other brokerage transactions

Must be able to pass a soft credit check, fingerprinting and background check.